Our Staff has compiled our research into a database of FINRA Broker Disclosures for LPL Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Clarence Woods | 1362326 | 2 | 03/01/2003 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Brian Moloney | 1543528 | 3 | 02/04/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alex Hung Nguyen | 2843949 | 2 | 07/27/2000 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Donald Stewart Hutchinson | 254071 | 2 | 05/28/1999 | Customer Dispute | Pending | $10,316.00 | $0.00 | See FINRA Report |
| Robert John Teik | 1777669 | 1 | 04/23/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alfred King | 269990 | 1 | 04/19/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jack William Galle | 731838 | 2 | 03/08/1999 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Michael Brian Wargo | 2652745 | 2 | 12/08/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Allen Cohen | 849258 | 4 | 10/16/1998 | Customer Dispute | Pending | $7,000.00 | $0.00 | See FINRA Report |
| John Patrick Obrien | 2637870 | 1 | 10/06/1998 | Customer Dispute | Pending | $6,000.00 | $0.00 | See FINRA Report |